Tracy Koo, Aamlp, Mfe
About Tracy Koo, Aamlp, Mfe
Tracy Koo is a Compliance Controls Analyst at UBS, specializing in risk assessment and compliance processes within Global Wealth Management and Investment Banking. With a background in AML transaction monitoring and a strong academic foundation in Actuarial Science, Statistics, and Financial Economics, Koo has developed expertise in identifying and addressing compliance risks.
Current Role as Compliance Controls Analyst
Tracy Koo currently serves as a Compliance Controls Analyst at UBS, a position held since 2021. In this role, Koo analyzes and assesses risks within the Global Wealth Management and Investment Banking divisions. Koo collaborates with Monitoring, Surveillance, and Controls teams to enhance compliance processes, ensuring adherence to regulatory requirements.
Previous Experience at UBS
Prior to the current role, Koo worked at UBS as an AML Transaction Monitoring Specialist from 2019 to 2021 in Hong Kong. During this time, Koo focused on monitoring transactions for potential money laundering activities and contributed to the development of compliance strategies.
Background in Financial Services
Tracy Koo has a diverse background in financial services, having worked at Hang Seng Bank as an External Investigative Reporting Analyst from 2017 to 2019. In this role, Koo was involved in AML investigations, enhancing the bank's compliance framework. Koo also gained experience as a Co-op Student at Ontario Teachers' Pension Plan in 2016, where responsibilities included strategy and risk analysis.
Education and Expertise
Koo holds a Bachelor's Degree in Actuarial Science & Statistics from the University of Waterloo, completed in 2012. Koo furthered education with a Master's degree in Financial Economics from Western University in 2016. Koo's expertise includes conducting thematic and front-to-back reviews on Cross Border, Conflict of Interest, and Investment Suitability Controls, as well as developing recommendations for risk mitigation.
Early Career at Grand Hyatt Hong Kong
Tracy Koo began a career in finance at Grand Hyatt Hong Kong, where Koo worked as an Accounting Clerk from 2013 to 2015. This role provided foundational experience in financial operations and accounting practices, contributing to Koo's overall professional development.